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EMIR: Further Clearing Requirements

Of Relevance to: Those entities subject to EMIR EMIR: Further Clearing Requirements Article 4 of EMIR (648/2012) imposes a clearing obligation on all OTC derivative contracts meeting the conditions therein, […] [...]

The votes have been counted and ‘Brexit’ has won the day.

The votes have been counted and ‘Brexit’ has won the day. Whilst the Government considers what exactly that means for the UK as a whole, and what needs to be […] [...]

Remuneration Guidelines: UCITS V and AIFMD

Of Relevance to: UCITS management companies; AIFMs Remuneration Guidelines: UCITS V and AIFMD UCITS V introduces the need for UCITS management companies to establish and apply remuneration policies and practices […] [...]

Securities Financing Transactions Regulation: ESMA Discussion Paper

Of Relevance to: Firms concluding Securities Financing Transactions Securities Financing Transactions Regulation: ESMA Discussion Paper As advised in Regulatory Roundup 72, reporting and transparency obligations will arise in respect of […] [...]

Remuneration: Bonus Cap

Of Relevance to: Firms subject to CRD IV (‘IFPRU Investment Firms’) Remuneration: Bonus Cap The European Banking Authority’s Guidelines on sound remuneration policies were published on 21 December last year. […] [...]

EMIR Mandatory Clearing: Credit Default Swaps

Of Relevance to: Those entities subject to EMIR EMIR Mandatory Clearing: Credit Default Swaps As we know, Article 4 of EMIR imposes a clearing obligation on all OTC contracts which […] [...]

The Insurance Distribution Directive

Of Relevance to Insurance product providers and insurance intermediaries The Insurance Distribution Directive The Insurance Mediation Directive (“IMD”), implemented in 2005, regulates the sale of insurance products and was intended […] [...]

UCITS V

Of Relevance To UCITS Management Companies; AIFMs of NURS; depositaries and custodians of UCITS schemes and AIFs. UCITS V The FCA has released Policy Statement PS16/2 “Implementation of the UCITS […] [...]

Fourth Money Laundering Directive: Proposed Amendments

As we know the UK (and other Member States) have until 26 June 2017 to implement the Fourth Money Laundering Directive (2015/849 – “4MLD”) into national law – see the […] [...]

AIFMD: Passport Extension Update

Last July ESMA provided its advice and opinion to the European Parliament, the Council and the Commission on: the extension of the passport regime to non-EEA AIFMs; and the marketing […] [...]

EBA: Report on Investment Firms and Prudential Requirements

There has long been a recognition within the industry that the prudential requirements of investment firms arising out of the CRD IV framework were first and foremost designed for credit […] [...]

Market Abuse: Delegated Regulation

The new market abuse regime deriving from Market Abuse Regulation 596/2014 (EU MAR) applies from 3 July 2016 – see Regulatory Roundup 70 for further details. The European Commission has […] [...]

CRD 4: Remuneration and Proportionality

As may be recalled, the consultation paper issued by the EBA on ‘Sound Remuneration Policies’ (CP 2015/3) closed on 4 June 2015 – see Regulatory Roundup 65 for a summary. […] [...]

Knowledge and Competence

Under Article 25(1) of MiFID 2 (2014/65) firms will be required to ensure (and to demonstrate to competent authorities on request) that persons giving investment advice or information about financial […] [...]

MiFID II Wobble

With just over a year to 3 January 2017 Steven Maijoor, the Chair of ESMA, delivered an update on ESMA work in relation to MiFID II to the Economic and […] [...]

Remuneration under CRD 4: Role-Based Allowances

As we know, the European Banking Authority’s consultation on ‘Sound Remuneration Policies’ (CP 2015/03) closed on 4 June – see Regulatory Roundup 65. Among the aspects touched upon in the […] [...]

AIFMD Passport Extension: Second Round

It will be recalled that in July ESMA published its advice (2015/1236) on the application of the AIFMD passport to non-EEA AIFMs and AIFs. At the time ESMA only issued […] [...]

European Long Term Investment Funds

The FCA consultation paper CP15/27 was not solely confined to UCITS V (see above article) as the “… other changes to the Handbook affecting investment funds” includes a section (Part […] [...]

EMIR: Mandatory Clearing

Article 4 of EMIR places a clearing obligation on all OTC derivative contracts which fulfil the conditions therein – but only once ESMA has determined which classes of OTC derivatives […] [...]

Category: European Regulation

EMIR: Further Clearing Requirements

The votes have been counted and ‘Brexit’ has won the day.

Remuneration Guidelines: UCITS V and AIFMD

Securities Financing Transactions Regulation: ESMA Discussion Paper

Remuneration: Bonus Cap

EMIR Mandatory Clearing: Credit Default Swaps

The Insurance Distribution Directive

UCITS V

Fourth Money Laundering Directive: Proposed Amendments

AIFMD: Passport Extension Update

EBA: Report on Investment Firms and Prudential Requirements

Market Abuse: Delegated Regulation

CRD 4: Remuneration and Proportionality

Knowledge and Competence

MiFID II Wobble

Remuneration under CRD 4: Role-Based Allowances

AIFMD Passport Extension: Second Round

European Long Term Investment Funds

EMIR: Mandatory Clearing

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